Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
SEC workforce’s skills and insight. Currently, IOSCO members are 225 capital market regulators and relevant agencies from 140 countries. On average, an IOSCO annual conference is attended by
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but
failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC
suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
) has launched “SEC Crypto Academy” as a channel of e-learning on digital assets for the interested public, under the slogan, “Gain Insight, Reduce Risks, Enjoy Learning.” All courses are free of charge
, Ardor, Aetenity, alef, Single Collateral DAI, 2 30% IOST, Metaverse ETP, INO COIN, Insight Chain, Veritaseum, Stratis, Seele, Ren, Quant, HyperCash, Energi, EDUCare, Crypterium, Bytom 3 50% XMax, Aurora 4
, TrueUSD, USD Coin, VeChain, Verge, Waves, Zcoin, Zilliqa 2 30% Aave, ABBC Coin, aelf, Aion, Bitcoin Cash, Bitcoin SV, Bytom, Crypterium, Energi, Enjin Coin, Ethereum Classic, HyperCash, Insight Chain
หลักทรัพย์ราย {ข} {ค} และ {ฆ} มีผลตั้งแต่วันที่ 11 มีนาคม 2557ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) บริษัทหลักทรัพย์ คันทรี่ กรุ๊ป จำกัด (มหาชน) (บล. คันทรี่) พบว่า {ก} นักวิเคราะห์การ